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Current Employers
Wells Fargo Advisors Financial Network, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-01-28
VA RA APPROVED 2020-04-03
TX RA APPROVED_RES 2020-03-14
  • FL RA
    APPROVED
    Since 2025-01-28
  • VA RA
    APPROVED
    Since 2020-04-03
  • TX RA
    APPROVED_RES
    Since 2020-03-14

Branch Locations

3460 W Clay St, Richmond, VA 23230 • United States

Powhatan, VA • United States

Highland Beach, FL • United States

Disclosures

2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Richmond VA 05/2009 11/2016
Wells Fargo Clearing Services, Llc Richmond VA 11/2016 03/2020
Wells Fargo Advisors Financial Network, Llc Richmond VA 03/2020 Present
Previous Registrations
  • 2008-02-14 → 2020-03-13
    Richmond, VA
    Richmond, VA
  • 1998-01-07 → 2008-02-05
    Banc Of America Investment Services, Inc.
    Richmond, VA
    Norfolk, VA
Other Businesses

RENTAL PROPERTY, INVT RELATED, RICHMOND, VA, 100% OWNERSHIP, START 1/1/2003, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. ZURICH HOLDINGS, LLC, INVT RELATED, MIDLOTHIAN, VA, 100% OWNERSHIP, START 1/1/2020, 1 HR PER MONTH, 0 HRS DURING TRADING, FOR FINET PRACTICE. CERVELO, LLC, INVT RELATED, MIDLOTHIAN, VA, 100% OWNERSHIP, START DATE 1/1/2011, 1 HR PER MONTH, 0 HRS DURING TRADING, OWNER. HARVIE WEALTH MANAGEMENT GROUP, LLC, INVT RELATED, RICHMOND, VA, 67% OWNERSHIP, START 3/13/2020, 10 HRS PER MONTH, 0 HRS DURING TRADING, FOR FINET PRACTICE.; POWER OF ATTORNEY FOR FATHER, INV RELATED, RICHMOND, VA, START 3/24/2020, 3 HRS/MONTH, 0 HRS DURING TRADING.; EXECUTOR FOR MOTHER, INV RELATED, MIDLOTHIAN, VA, START 3/24/2020, 1 HR/MONTH, 0 HR DURING TRADING. KAUAI,LLC; NOT INV. RELATED; MIDLOTHIAN, VA; 100% OWNERSHIP; START 1/1/2009; NUMBER OF HOURS PER MONTH 1; NUMBER OF HOURS DURING TRADING 0; HOLDS RENTAL PROPERTY. RENTAL PROPERTY, INV RELATED, RICHMOND, VA, 100% OWNERSHIP, START 1/1/2009, 1 HOUR PER MONTH, ZERO HOURS DURING TRADING,

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-23
S63 Uniform Securities Agent State Law Examination 1993-12-15
  • S65 Uniform Investment Adviser Law Examination
    1995-10-23
  • S63 Uniform Securities Agent State Law Examination
    1993-12-15
Designations
Other Names
  • Chris Harvie
  • John Christopher Harvie
  • John Harvie

View on SEC IAPD

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